2022073298301 Mizuho Securities USA LLC CRD 19647 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073298301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mizuho Securities USA LLC (Respondent)
Member Firm
CRD No. 19647
Pursuant to FINRA Rule 9216, Respondent Mizuho Securities USA LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021069373001 David Wong CRD 4689031 Complaint lp.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Disciplinary Proceeding
No. 2021069373001
Department of Enforcement, Complainant, v.
David Wong, CRD No. 4689031,
Respondent.
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Respondent David Wong, while associated with FINRA member firm Integrity Brokerage, LLC, converted and misused approximately $9,500 in customer funds on two separate occasions.
2.
2017052438501 Oppenheimer & Co., Inc. CRD 249 AWC vr.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017052438501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Oppenheimer & Co. Inc. (Respondent)
Member Firm
CRD No. 249
Pursuant to FINRA Rule 9216, Respondent Oppenheimer & Co. Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.